SEC and Governance

Unless noted, all documents are in PDF format.

| A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | R | S | T | U | V | W | Z

A

Acuity Brands, Inc. No Action Letter.

Advanced Battery Techno, In re, No. 14-01410 (2d Cir. Mar 25, 2015)

In re: American Express Co. Sec. Litig., 02 cv 5533 (S.D. N.Y. Sept. 26, 2008)

American Petroleum Institute v. SEC, Case 1:12-cv-01668-JDB, D. DC, Oct. 2012

Judgment, In re: American Express Co. Sec. Litig., 02 cv 5533 (S.D. N.Y. Sept. 26, 2008)

In re Am. Stock Exch. LLC., Release No. 3-12774 (2007).

Analytical Surveys, Inc. v. Tonga Partners, L.P., 2008 WL 4443828

Atossa Genetics, Inc. Securities Litigation, In re, No. C13-1836 (W.D. Wash. Oct. 06, 2014).

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B

Bank of America to Pay Record $16.6B To End SEC, DOJ Suits Over RMBS.

Bebo v. SEC, Aug. 24 2015, Seventh Circuit Decision

Bennett v. Sprint Nextel Corp. et al., Case No. 09-2122-EFM (D. of Kansas, filed Jan. 6, 2011)

Bennett v. Sprint Nextel Corp., No. 11-9014-MC-W-ODS, 2012 U.S. Dist. LEXIS 145902 (W.D. Mo. Oct. 10, 2012).

In re Boston Stock Exch., Release No. 56352 (2007).

Bourdel v. Wells Fargo Advisors, LLC, 2013 U.S. Dist. LEXIS 61436 (D. Nev. Apr. 30, 2013).

Broker-Dealers Granted Reg E Relief For Disclosure of Fees, Exchange-Rates

Business Roundtable v. SEC, No. 10-1305, DC Circuit, 2010

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C

CA, Inc. v. AFSCME, No. 329, 2008, Del. Sup. Ct.

Coppinger-Martin v. Solis, No. 09-73725

Christopher Cox, Chairman of the SEC, Speech to the Chamber of Commerce (Mar. 14, 2007).

Cisco Systems Co. No Action Letter

Citigroup Global Markets Inc., SEC, Admin. Proc., In re File No. 3-17808 (Jan. 24, 2017).

City of Pontiac Gen. Emples. Ret. Sys. V. Wal-Mart Stores, Inc., No. 5:12-cv-5162, 2017 BL 346460 (W.D. Ark. Sept. 29, 2017).

The Coca-Cola Company, 2016 BL 49948 (Feb. 19, 2016).

Brief for Solicitor’s General Office as Amici Curiae Supporting Appellants, CTS Inc., v. Dynamic, _U.S. (1986)(No. 86-71).

Curry v. Hansen Medical, Inc., No. 5:09-cv-05094-JF, 2011 U.S. Dist. LEXIS 96697 (N.D. Cal. Aug. 25, 2011)

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D

Del. Cty. Emps. Ret. Fund v. Sanchez, No. 702, 2015 BL 323593 (Del. Oct. 02, 2015).

Dempsey v. Vieau, No. 13-CV-6883-LTS-SN (S.D.N.Y. Sept. 8, 2015).

Dodona I LLC v. Goldman Sachs

In re Dynavax Sec. Litig.

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E

In re Eaton Corp. Sec. Litig., No. 16-cv-5894 (JGK), 2017 BL 332475 (S.D.N.Y. Sept. 20, 2017).

Egan-Jones Rating Agency v. SEC, Cas No. 1:12-cv-00920 (D DC June 6, 2012)

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F

FDIC v. Chase Mortg. Fin. Corp., 2014 BL 241771 (S.D.N.Y. Sept. 2, 2014).

Friedman v. Dolan, No. 9425-VCN, 2015 BL 209974 (Del. Ch. June 30, 2015).

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G

In Re General Motors Co., S.E.C., No. Admin. Proc. File No. 3-17797 (January 18, 2017).

Genworth Financial, Inc. Securities Litigation, In re

Gov’t of Guam Ret. Fund v. Invacare Corp., CASE NO. 1:13CV1165, 2014 BL 228345 (N.D. Ohio Aug. 18, 2014).

Greenfield v. Cadian Capital Mgmt., LP, No. 15 Civ. 4478 (ER), 2016 BL 327078 (S.D.N.Y. Sept. 30, 2016).

Gupta v. SEC, 1:11-cv-01900-JSR, SD NY, March 2011

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H

In Re Hedayati, S.E.C., Admin. Proc. File No. 3-17881 (March 14, 2017).

In re Hewlett Packard

Higginbotham v. Baxter Int’l, 06-1312 (7th Cir. July 27, 2007).

HomeTrust Bancshares, Inc. No Action Letter.

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I

In the Matter of Anthony Coronati, Adm. Proc. File No. 3-16203 (Oct. 17, 2014).

In the Matter of Gonul Colak, Adm. Proc. File No. 3-15712 (Jan. 3, 2014).

In the Matter of Lynn Tilton, Administrative Rulings Release No. 4672 (admin proc March 10, 2017).

In the Matter of the Application of ABN AMRO Clearing Chicago LLC Release No. 83849 (August 15, 2018).

In the Matter of Voya Financial Advisors, Inc. Release No. 84288 (Sept. 26, 2018).

Int’l Assoc. of Heat & Frost Insulators & Asbestos Workers Local #6 Pension Fund v. Int’l Bus. Machs. Corp.

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J

Jarkesy v. SEC, 1:14-cv-00114, 14-5196, DC, 2014

Jonathan L. Rogers, Douglas J. Skinner & Sarah L.C. Zechman, Run EDGAR Run: SECDissemination in a High-Frequency World (Chicago Booth Paper No. 14-36, 2014).

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K

Kaufman v. Alexander, No. 14-3293, 2015 BL 278735 (3d Cir. Aug. 28, 2015).

KBR, Inc., In re, Release No. 34-74619, 2015 WL 1456619 (2015).

Khaled Asadi v. G.E. Energy, LLC, 720 F.3d 620 (5th Cir. 2013).

Knurr v. Orbital ATK, Inc.

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L

L&L Energy Sec. Litig., In re., No. C11-1423RSL, 2013 BL 335037 (W.D. Wash. Dec. 03, 2013).

La. Mun. Police Emp. Ret. Sys. v. Wynn, 2:12-CV-509 JCM

Langevoort Letter on the Role of Litigation to SEC Chairman Cox, Attachment, August 7, 2007

Lauria v. BioSante Pharm., Inc., Case No. 12 C 772, 2013 BL 242363 (N.D. Ill. Sept. 11, 2013).

Lehman Brothers Securities and Erisa Litigation, In re

Letter from Mary Schapiro, Chairman, Securities and Exchange Commission, to the Honorable Scott Garrett, US House of Representatives, August 5, 2011

Letter from Prof. Donald C. Langevoort on the Role of Litigation to Christopher Cox, Chairman of the SEC (Mar. 2, 2007).

Lions Gate Entm’t Corp. Sec. Litig., In re, 2016 BL 17683 (S.D.N.Y. Jan. 22, 2016).

Lucas v. Icahn, No. 14-1906-cv, 2015 BL 202645 (2d Cir. June 25, 2015).

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M

Makor v. Tellabs, 127 S. Ct. 2499 (2007).

Makor v. Tellabs, 2008 WL 151180 (7th Cir. 2008) Cert granted Makor v. Tellabs, 127 S. Ct. 2499 (2007).

Makor v. Tellabs, 2009

March Schapiro, Chairman, Securities and Exchange Commission

Mary Jo White, Chairwoman of the SEC, Speech to the Annual Securities Regulation Institute (Jan. 27, 2014).

Mary L. Schapiro, Chairman of the SEC, Remarks at New England Sec. Conference (Oct. 11, 2012)

Microsoft Corp No Action Letter

Miller v. Palladium Indus., C.A. No. 7475-VCN, 2012 Del. Ch. LEXIS 292 (Del. Ch. Dec. 31, 2012).

Molchatsky v. United States, 713 F.3d 159 (2d Cir. N.Y. 2013).

Montage Technology Group Limited, In re

Moore v. Payson Petroleum Grayson

Moreno v. Deutsche Bank Am.s Holding Corp., No. 15 Civ. 9936 (LGS), 2016 BL 342731 (S.D.N.Y. Oct. 13, 2016).

Morgan Stanley Smith Barney LLC, SEC, Admin. Proc., In re File No. 3-17809 (Jan. 24, 2017).

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N

In re Navistar, SEC Admin. Proc. File No. 3-12564 (Feb. 13, 2007).

National Credit Union Administration Board v. Barclays Capital Inc., No. 13-3183, slip op. (10th Cir. Mar. 3, 2015).

NetRoadshow, Inc., SEC No-Action Letter, 2013 WL 368363 (Jan. 29, 2013).

Newby v. Enron, Civil Action No. H-01-3624

Nine Sys. Corp. S’holders Litig., In re, Consol. C.A. No. 3940-VCN., 2014 BL 245208 (Del. Ch. Sept. 04, 2014).

Nineteen Eighty-Nine, LLC v. Icahn Enterprises L.P., 2012 N.Y. slip op. 06869 (N.Y. App. Div. Oct. 16, 2012)

Northumberland Cnty. Ret. Sys. v. Kenworthy, NO. CIV-11-520-D, 2013 BL 249536 (W.D. Okla. Sept. 16, 2013)

Notice of Filing of Amendments Nos. 1 and 2, and Order Granting Accelerated Approval of Proposed Rule Change, Exchange Act Release No. 68640 (Jan. 11, 2013).

NYSASeries Trust v. Espsco Syracuse, LLC, No. 5:14-CV-1089, 2015 BL 26727 (N.D.N.Y. Feb. 03, 2015).

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O

Olagues v. Icahn, 866 F.3d 70, 72 (2d Cir. 2017).

Oracle Corp. No-Action Letter

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P

Palkon v. Holmes, No. 2:14-CV-01234 (SRC), 2014 BL 293980 (D.N.J. Oct. 20, 2014),

Phillips v. Scientific-Atlanta, Inc., No. 10–15910, 2012 WL 3854795 (11th Cir. Sept. 6, 2012).

In re Platinum Equity Advisors, LLC.

In Re Polaris Indus., Inc. Sec. Litig.

Press Release, Securities and Exchange Commission, JP Morgan Chase Agrees to Pay $200 Million and Admits Wrongdoing to Settle SEC Charges (Sept. 19, 2013).

Press Release, U.S. Securities and Exchange Commission, SEC Awards More Than $14 Million to Whistleblower (Oct. 21, 2013).

Pub. Emps.’ Ret. Sys. of Miss. v. TreeHouse Foods, Inc., No. 16-cv-10632 2018 BL 46647 (N.D. Ill. Feb. 12, 2018).

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R

Regents of the Univ. of Cal. v. Credit Suisse First of Boston, 482 F.3d 372 (5th Cir. 2007).

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S

Salman v. US, 136 S. Ct. 899 (2016).

Scandlon v. Blue Coat Systems, Inc., No. C 11-4293 RS, 2013 WL 308879 (N.D. Cal. Jan. 25, 2013).

Schwartz v. Arena Pharmaceuticals, Inc.

Scott v. General Motors Co., No. 12CV5124–LTS–JLC (S.D.N.Y. Sept. 15, 2014).

SEC Adopts Neat Tool

SEC Civil Complaint Against Bray and O’Neill.

SEC No-Action Letter: Citigroup Inc.

SEC Proposed Rule for Pay Ratio Disclosure, Release No. 33-9452, 34-79443 (Sept. 18, 2013).

SEC Suspends Trading of 61 Companies Ripe for Fraud in Over-The-Counter Market

SEC v. Am. Int’l Grp., No. 12-5141, 2013 WL 375650 (D.C. Cir. Feb. 1, 2013).

SEC v. Aronson, No. 11 CIV 7033 (S.D.N.Y. Oct. 6, 2011).

SEC v. Assurant, Inc., 10 cv 0484 SD NY, Jan. 21, 2010

SEC v. Bank of America, cv o6829, SD NY, 2009

SEC v. Bankosky, No. 12-2943-cv, 2013 BL 128728 (2d Cir. May 14, 2013).

SEC v. Battoo, No. 112-CV-07125, (N.D. Ill. Jan. 25, 2016).

SEC v. Bauer, 723 F. 3d 758 (7th Cir. 2013).

SEC v. Bauer, Case No. 03-C-1427, 2014 BL 244562 (E.D. Wis. Aug. 29, 2014).

SEC v. Benger

SEC v. Big Apple Consulting USA, Inc., No 13-11976 (11th. Cir. Apr. 9, 2015).

SEC v. BIH Corp., Case No. 2:10-cv-577-FtM-29DNF., 2014 BL 69810 (M.D. Fla. Mar. 13, 2014)

SEC v. Braverman

SEC v. Brooks, 07-61526 (S.D. Fla. Oct. 25, 2007).

SEC v. Capital Financial Partners, LLC

SEC v. Cary, No. 8:17-cv-01649 (C.D. Cal. Sept. 21, 2017).

SEC v. Citigroup, Civil Action No. 10-1277 (ESH), D Ct., DC, 2010

SEC v. Cole, No. 12-cv-8167 (RJS), 2014 BL 263123 (S.D.N.Y. Sept. 22, 2014).

SEC v. CMKM Diamonds, Inc., Nos. 11-17021, 11-17025, 2013 BL 240178 (9th Cir. Sept. 10, 2013)

SEC v. Daifotis

SEC v. Dorozhko, 07Civ. 9606 (S.D.N.Y. Jan. 8, 2008).

SEC v. Dubovoy, No. 15-6076 (D.N.J. Oct. 16, 2015).

SEC v. e-Smart Technologies

SEC v. Estate of Vincent James Saviano, No. 2:14-cv-13902-MOB-MKM

SEC v. Faulkner, No. 3:16-CV-1735-D (N.D. Tex. Sept. 25, 2017).

SEC v. Ferrone

SEC v. Galleon Mgmt., LP, No. 09 Civ. 8811, 2011 WL 1770631, at *1 (S.D.N.Y. May 11, 2011).

SEC v. Garber, No. 12 Civ. 9339, 2014 BL 3070 (S.D.N.Y. Jan. 07, 2014)

SEC v. Goldman Sachs & Co, SD NY, April 16, 2010

SEC v. Graulich, Civ. No. 2:09-cv-04355 (WJM), 2013 WL 3146862 (D.N.J. June 19, 2013)

SEC v. Greenstone Holdings, Inc., No. 10 Civ. 1302 (MGC), 2013 BL 186597 (S.D.N.Y. July 10, 2013).

SEC v. Gupta, No. 11 Civ. 7566

SEC v. Hayter, No: 2:10-cv-577-FtM-29DNF (M.D. Fla. Jan. 28, 2015).

SEC v. Helms, 2015 BL 270501 (W.D. Tex. Aug. 21, 2015).

SEC v. Hovannisian, No. 17-at-00617 (E.D. Cal. Aug. 10, 2017).

SEC v. Huff, No. 11-10758

SEC v. James C. Cope

Complaint, SEC v. Johnson (D. Colo. 2015) (Case 1:15-cv-00299-REB).

SEC v. Khan, No. 10-cv-02865

SEC v. Kokesh, No. 15-2087, 2016 BL 273045 (10th Cir. Aug. 23, 2016).

SEC Complaint vs. Kovzan, Civil No. 11-CV-2017 JWL

SEC v. Landberg, No. 11 Civ. 0404, 2011 WL 5116512

SEC v. Madoff, 08 civ 10791, SD NY 2008

SEC v. Mapp, No. 4:16-cv-00246 (E.D. Tex. Nov. 11, 2017).

SEC v. Medical Capital Holdings Inc., C.D. Cal., Case No. SACV 09-0818 DOC

Complaint, SEC v. Mercury Interactive, (N.D. Cal. May 31, 2007).

Complaint, SEC v. Moses Inv. Co., LLC & Michael S. Moses, No. 17-Cv-02296 (D. Colo. Sept. 22, 2017).

SEC v. Mozilo, 09-3994, CD CA, 2010

SEC vs. Narvett, No. 13-C-927, 2014 BL 287642 (E.D. Wis. Oct. 14, 2014).

SEC v. Nature’s Sunshine Products, Inc., Douglas Faggiolo, and Craig D. Huff, No. 2:09CV0672

SEC Complaint vs. NIC, Fraser, Herington, and Bur

SEC v. Nocella, Civil Action H-12-1051, 2014 BL 222069 (S.D. Tex. Aug.
11, 2014).

SEC v. Obus, 2010 WL 3703846

SEC v. Obus, No. 10-4747-cv., 2012 WL 3854797 (2d Cir. Sept. 6, 2012).

SEC v. Persaud, Case No. 6:12-cv-932-Orl-28GJK., 2013 BL 341268 (M.D. Fla. Dec. 10, 2013).

SEC v. Peterson & Peterson, No. 11-CV-5448 (SDNY, Filed Aug. 5, 2011)

SEC v. Pirate Investor, LLC, 2009 WL 2949091 (4th Cir., Sept. 15, 2009).

SEC v. Quan, No. 11 Civ. 723 (ADM/JSM), 2014 BL 260791 (D. Minn. Sept. 9, 2014).

SEC v. Reyes, No. C 06-04435 CRB (N.D. Ca. May 13, 2007).

SEC v. Rosenthal, 10-1204-cv (L) (2d Cir. June 9, 2011)

SEC v. Sayid, 2017 WL 2402712

SEC v. Scammell, No. CV11-6597-DSF

SEC v. Schooler, 2012 WL 4761917, (S.D. Cal. Oct. 5, 2012).

SEC v. Schroeder, No. C-07-3798 JW (N.D. Cal Nov. 17, 2010).

SEC v. Schwinger, 07-CV-01047 (D.D.C. June 13, 2007).

SEC v Shanahan, 407-CV-270-JCH, E. D. Mo., Jan. 12, 2009.

S.E.C. v. Stoker, No. 11 Civ. 7388(JSR), 2012 WL 2017736 (S.D.N.Y. June 6, 2012).

SEC v. StratoComm Corp., 1:11-CV-1188, 2015 BL 62316 (N.D.N.Y. Mar. 09, 2015).

SEC v. Subeye, 13 CV 3114 2014 BL 259610 (S.D.N.Y. 2014).

SEC v. Sullivan, Civil Action No. 1:12-cv-02131-JLK-BNB, 2014 BL 261839 (D. Colo. Sept. 19, 2014)

SEC v. Todd, (N.D. Ca. May 30, 2007).

SEC v. Tourre, 10 Civ. 3229, SD NY 2010

SEC v. Varacchi

SEC v. Weintraub, No. 11-21549-CIV-HUCK/BANDSTRA (S.D. Fla. Dec. 30, 2011).

SEC v. Wyly, No. 10 Civ. 5760 (SAS), 2013 BL 158497 (S.D.N.Y. June 13, 2013).

SEC v. Zada Enterprises LLC

SEC, No-Action Letter, WD-40 Company, 2016 BL 320576 (09/27/16)

Security Exchange Commission Act of 1934, 15 U.S.C. 78 (1934).

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Members the Ability to Pay a Regulatory Fine Pursuant to an Installment Plan, Exchange Act Release No. 34-67967, 2012 WL 4580144 (Oct. 2, 2012).

Shareholder Proposals Relating to the Election of Directors, Exchange Act Release No. 34-56161

Shareholders Proposals, Exchange Act Release No. 34-56160

Simpson v. AOL Time Warner Inc., 452 F.3d 1040 (9th Cir. 2006).

Singh v. 21Vianet Grp. Inc., (E.D. Tex. 2017).

In re SLRA Inc., S.E.C., Admin. Proc. File No. 3-17826, 2/7/17.

Smith v. Tarter

In re Sodano, In the Matter of Salvatore F. Sodano

South Ferry LP v. Killinger, 06-35511 (9th Cir. September 9, 2008)

Steginsky v. Xcelera Inc., No. Nos. 13-1327-cv, 13-1892-cv, 2014 BL 20609 (2d Cir. Jan. 27, 2014).

In re Stifel and Nicolaus & Co., Inc., S.E.C., Admin. Proc. File No. 3-17879, Mar. 13, 2017

Stoneridge v. Scientific-Atlanta, 443 F.3d 987 (8th Cir. 2006).

Stryker v. Securities and Exchange Commission

Sun River Energy, Inc. v. McMillan, 2015 BL 84085 (N.D. Tex. Mar. 25, 2015).

In the Matter of Sylvester King Jr.

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T

Tilton et al. v. SEC

Tremont Sec. Law v. Tremont Grp. Holdings, Inc., Master File No. 08 Civ.11117., 2013 BL 235336 (S.D.N.Y. Sept. 03, 2013).

Trinity Wall Street v. Wal-Mart Stores

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U

United States v. Martoma, 2013 BL 347024 (S.D.N.Y December 17, 2013).

United States v. Reyes, No. CR 06-0556 (N.D. Cal. 2007).

United States v. Thomas Melvin, No. 3:14-cr-00022-TCB-RGV-1, (11th Cir. February 3, 2017)

U.S Commodity FTC Press Release in regards to Citigroup spoofing

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V

Villari v. Mozilo, 208 Cal. App. 4th 1470 (August 30, 2012)

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W

In re: Williams Securities Litigation, No. 07-5119, 10th Cir., Feb. 19, 2009

In re Windsor Street Capital L.P., S.E.C., No. Admin. Proc. File No. 3-17813, 1/25/17

World Trade Fin. Corp. v. SEC, No. 12-70681, 2014 BL 13048 (9th Cir. Jan. 16, 2014)

WPP Luxembourg Gamma Three Sarl v Spot Runner 655 F 3d 1039 (9th Cir 2011)

Z

Zelaya v. U.S., No. 11-62644-Civ-SCOLA, 2012 WL 3887203 (S.D. Fla. Sept. 7, 2012) .

Zoernack, In re, SEC, Admin. Proc. File No. 3-17157, March 8, 2016.

Zoumboulakis v. McGinn

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